mathematics
Article
Optimization of Observer Feedback Gains for Stable Sensorless
IM Drives at Very Low Frequencies: A Comparative Study
between GA and PSO
Mohamed S. Zaky 1 , Shaaban M. Shaaban 1,2, *, Tamer Fetouh 3 , Haitham Z. Azazi 3 and Yehya I. Mesalam 4,5
Citation: Zaky, M.S.; Shaaban, S.M.;
Fetouh, T.; Azazi, H.Z.; Mesalam, Y.I.
Optimization of Observer Feedback
Gains for Stable Sensorless IM Drives
at Very Low Frequencies: A
Comparative Study between GA and
PSO. Mathematics 2022, 10, 1710.
https://doi.org/10.3390/
math10101710
Academic Editor: Paolo Crippa
Received: 18 April 2022
Accepted: 13 May 2022
Published: 17 May 2022
Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations.
Copyright: © 2022 by the authors.
Licensee MDPI, Basel, Switzerland.
This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/).
Mathematics 2022, 10, 1710. https://doi.org/10.3390/math10101710
1 Department of Electrical Engineering, College of Engineering, Northern Border University,
Arar 1321, Saudi Arabia; mohamed.zaky@nbu.edu.sa
2 Department of Engineering Basic Science, College of Engineering, Menoufia University,
Shebin El-Kom 32511, Egypt
3 Department of Electrical Engineering, College of Engineering, Menoufia University,
Shebin El-Kom 32511, Egypt; tamer.attia@sh-eng.menofia.edu.eg (T.F.);
haitham.azazi@sh-eng.menofia.edu.eg (H.Z.A.)
4 Department of Industrial Engineering, College of Engineering, Zagazig University, Zagazig 44519, Egypt;
yehya.mesalam@zu.edu.eg or ymesalam@yahoo.com
5 Department of Industrial Engineering, College of Engineering, Northern Border University,
Arar 1321, Saudi Arabia
* Correspondence: shaban.awdallah@nbu.edu.sa or shabaan27@gmail.com
Abstract: Instability of an adaptive flux observer (AFO) in the regenerating mode at low frequencies
is a great challenge of sensorless induction motor (SIM) drives. Zero observer feedback gains (OFGs)
in the regenerating mode at low frequencies are the main reasons for moving the dominant zero
of the speed estimators to the unstable region. OFGs should be appropriately selected to transfer
the unstable dominant zero to the stable region. In this paper, genetic algorithm (GA) and particle
swarm optimization (PSO) techniques were used to design the OFGs for a stable observer. A fair
comparison of the dominant zero location between the two approaches using the optimized OFGs is
presented under parameter deviation. Analytical results and the design procedure of the OFGs using
the two approaches are presented under deviations of stator resistance and mutual inductance to
guarantee a stable dominant zero in the regenerating mode of IM. The dominant zeros obtained by
PSO had a superior location to that obtained by GA for both stator resistance and mutual inductance
deviations. It was observed that one of the gains had an almost constant value over a wide range
of parameter deviations. However, the value of the other gain was dependent on the deviation of
machine parameters. The advantage of using PSO over GA is that the relation between the gain and
parameter deviation can be represented by a deterministic and mostly linear relationship. Simulation
and experimental work of the SIM drive are presented and evaluated under the optimized OFGs.
Keywords: sensorless control; genetic algorithms; particle swarm optimization; state feedback;
induction motors
MSC: 93-10
1. Introduction
Sensorless induction motor (SIM) drives have many advantages compared to sensored
IM drives. Elimination of the speed sensor ensures reduction of cost, lower hardware
complexity, higher reliability, better mechanical robustness, and lower maintenance re-
quests. Sensorless control is also suitable for operating in a hostile environment [1]. Many
methods have been recognized for SIM drives. They have been classified into the ma-
chine mathematical model-based methods and others that are independent of the machine
model [2].
https://www.mdpi.com/journal/mathematics
Mathematics 2022, 10, 1710 2 of 21

Numerous methods for SIM drives have employed the machine-model-based state
observers, such as full-order observers [3,4], reduced-order observers [5], extended Kalman
filters [6], nonlinear observers [7,8], and sliding mode observer [9,10].
Adaptive flux observer (AFO) ensures good estimation accuracy, robustness, and
reliability at high- and medium-speed regions [11]. A large issue of machine-model-based
observers is the robustness under parameters’ deviation [12] and the instability at low
speeds in the regenerating mode operation [13].
An important issue is the dependence of machine-model-based observers on the ma-
chine parameters. Many research works have been reported to remedy this issue for the
AFO. Methods using Routh–Hurwitz [11] and Lyapunov criteria [12] were presented to
study the stability of AFO in the regenerative region due to unstable zeros. The coupling
between estimation loops of rotor speed, rotor resistance, and stator resistance was de-
scribed in [13–15]. These works analyzed the coupling effect of parameters’ variation on
the stability of AFO in the low-speed region. Routh–Hurwitz criterion and root-locus
were used for stability analysis of AFO to demonstrate the stable and unstable regions. To
simplify the mathematical analysis and AFO complexity, the coupling effect of the three esti-
mators were ignored in [16]. This coupling was taking into consideration in [17]. However,
the AFO complexity and mathematical modelling were observed. Methods for complete
stability conditions of AFO based on Routh–Hurwitz criterion [18], root-locus [19], and
the linearized error dynamics [20–22] were derived and presented. To improve the AFO
robustness to parameter deviation, design of adaptive law and parameters’ adaptation were
introduced in [23]. In [24], the observer feedback gains were tuned in order to enhance the
convergence rate of AFO. A comparison between the AFO and model reference adaptive
system speed estimators was studied in [25] during the working in the regenerating mode.
To overcome the observability obstacle of AFO around zero speed, different works were
introduced. In [26], a scaling factor to design the observer feedback gains was used to
alleviate the gross error influence on AFO stability. However, the observability obstacle of
AFO near the zero speed without signal injection was remedied in [27] by adding a stator
voltage error to the speed estimator. An auxiliary adaptive variable in AFO to modify
the performance of AFO in the regenerating mode in comparison to the classic AFO was
proposed in [28]. A virtual voltage injection method of AFO was described in [29] to treat
the low-speed unobservable problem. However, the work in [30] employed a compensator
for the estimated speed error that was produced from the virtual voltage injection method
of AFO.
It is known that there are issues in speed-sensorless IM drives in the low-speed range,
where speed sensor is eliminated, and rotor speed has to be estimated according to the
mathematical motor model [31]. Then, uncertainty in motor parameters significantly influ-
ence the stability and precision of a speed estimation, especially in a low-speed regenerating
mode [32]. Therefore, different previous works estimated the motor parameters to achieve
the accuracy of speed estimation in the low-speed region [33,34]. To improve the stability of
AFO for sensorless IM drives in low-speed regenerating mode, the observer feedback gains
and speed adaptive scheme for AFO were designed considering the IM operating-point
changes [35]. To solve the unstable issue of sensorless IM drives at low-speed operation,
a virtual voltage injection method in the AFO was used to achieve a stable transfer function
of the speed estimator as well as an observable rotor speed [36]. In [37], rotor speed for sen-
sorless IM drive was estimated on the basis of AFO with a nonadaptive structure without
an integrator in different of the classical adaptive law with the integrator to remedy the
problem with the stabilization of the observer structure for near to zero rotor speed or in
the regenerating mode of an induction machine.
In this paper, unstable regions of AFO using zero observer feedback gains were
analyzed, particularly in the regenerating mode of operation due to the unstable zero of the
speed estimator transfer function and the unobservable issue at zero speed. The instability
of AFO increases with parameters’ deviation. To solve this unstable issue, the observer
feedback gains should be properly selected. Two optimization techniques using PSO and
Mathematics 2022, 10, 1710 3 of 21

GA are introduced. Optimal observer feedback gains under the dominant parameters’
variation using the GA and PSO optimization techniques were designed. The dominant
zero location of AFO using both zero observer feedback gains and optimized observer
feedback gains was analyzed and compared. To solve the issue of offline optimization
techniques for real-time implementation, a curve fitting to extract a formula for the observer
feedback gains was used. A significant improvement of the AFO under the proposed OFGs
was observed. Detailed simulation and experimental verification confirmed the stability
improvement, particularly at low speeds in the regenerating mode.
This paper can be organized into the following sections: Section 2 presents models of
the IM, AFO, and a speed estimator. Derivation in stability conditions of AFO is analyzed
in Section 3. In Section 4, OFG optimization using GA and PSO approaches is presented.
Special attention is paid for the comparison between the PSO and GA for designing the
OFGs, which give the optimal dominant zero location for stable AFO. Section 5 describes
detailed simulation and practical tests. This paper ends with a short conclusion, as given in
Section 6.

2. Mathematical Models
2.1. Induction Motor Model
The IM dynamic dq model is introduced in the stationary reference frame by (1).
 s    s   s 
ids a 0 c dωr ids vds
i s   0 a −dωr  iqss   vsqs 
d qs = c  + b (1)
dt  λsdr   g 0 −ωr  λsdr 
  
−f  0 
λsqr 0 g ωr −f λsqr 0
where
L2m
 
Rs 1 Lm
a=− σLs + σLs Tr Lr , c= εTr , d = ε1 , g = Tr
σLs Lr 1 L2m Lr 1
ε= Lm , b= σLs , σ = 1− L s Lr , Tr = Rr , f = Tr

vsds and vsqs are dq stator voltages; ids

s and i s are dq stator currents; i s and i s are the
qs dr qr
dq currents of the rotor; λds and λqs are the dq flux linkages of the stator; λsdr and λsqr are the
s s

dq flux linkages of the rotor; Rr and Rs are the rotor and stator resistances; Ls , Lm , and Lr
are the stator inductance, magnetizing inductance, and the rotor inductance, respectively;
and ωr is the rotor speed.

2.2. Adaptive Flux Observer Model

On the basis of (1), AFO is expressed in the stationary reference frame using (2):
 s    s   s  
îds îds vds

a 0 c dω̂r K1 eid
s s s
d  îqs  
 
0 a −dω̂r c 
 îqs 
  vqs   K2 eiq 
 s =  s  + b  0 + 0 
   (2)
dt  λ̂dr   g 0 −f −ω̂r  λ̂dr 

s s
λ̂qr 0 g ω̂r −f λ̂qr 0 0
s − i s and e = î s − i s .
where K1 and K2 are the current observer gains, eid = îds From (1)
ds iq qs qs
and (2), the current and flux errors can be obtained using (3)
 s 
dλ̂qr
    
eid a + K1 0 c dωr eid
s
d  eiq  =  0 a + K2 −dω̂r c   eiq  + ∆ωr  −dλ̂dr
     
(3)

s
dt  eλd   g 0 −f −ω̂r  eλd   −λ̂qr
 

eλq 0 g ω̂r −f eλq s
λ̂dr
s s
where ∆ωr = ωr − ω̂r , eλd = λ̂dr − λsdr , eλq = λ̂qr − λsqr .
The estimators of rotor speed and stator resistance can be expressed using (4) and
(5) [5]. Z
→T →ˆs
ω̂r = (K Pω + K Iω dt) e i J λ r (4)
 ˆs
ˆ r = (K P  + K I   dt )e T J 
 r i

(
ˆ = K + K dt4 of 21e Tiˆs
IR  )
Mathematics 2022, 10, 1710
Rs PR s i

 →s
→T ˆ
 Z
The block diagram of the indirect field-oriented (5)
R̂s = K PR + K IR control
dt e i i s

Figure 1. diagram of the indirect field-oriented control (IFOC) of SIM is shown in

The block
Figure 1.

Rectifier Inverter
LS

Vdc
IM
AC
Encoder
Gating
Te
DC
iq*
Pulses
r K 2 2Lr 
iabc
Gen
 K p + i i
abc Hysteresis Current
.
+ s 3 PLm 2-Stat. and
−
id
to Current
Voltage
1 iabc Controller

ˆr r
Sensing

Lm vabs
e iabs
Lm e
iq*  dt iqds
+

Tr sl +

ˆr AFO vqds abc to dqs
Transform

K1 & K2
Optimization of K1 & K2
Using PSO and GA

Figure 1. Block
Figure 1. Block diagram
diagram of of drive
IFOC for a SIM IFOC withfor
AFO.a“*”
SIM drive
means withvariable.
the reference AFO. “*” mea
2.3. Speed Observer Analysis

2.3. For stabilityObserver

Speed analysis of AFO in the regenerating mode at low speeds, a speed estimator
Analysis
transfer function can be obtained by assuming the speed as a variable parameter. The
relationship between the errors in rotor speed and stator current is obtained by (6) and (7).
For stability analysis of AFO in the regenerating mode at
More derivation details can be found in [5–8].
tor transfer function
→
can →
be obtained
→ ˆs
→
by assuming
→ˆs the speed a
p e i = ( A11 − K ) e i + A12 e λ + ∆A12 λ r + ∆A11 i s (6)
relationship between the errors in rotor speed and stator cu
→ → → →ˆs
(7). More derivation peλ =details
A21 e i + Acan
22 e λ be found
+ ∆A 22 λ r in [5–8]. (7)
where
ˆ s →s
→
ˆ
pe = (A − K )ei + A12e + A12sr +
→
e λ = λ r − λ r,
i  ∆A11 11∆A12 
∆A = Â − A =
∆A21 ∆A22
Considering the speed as the only variable parameter, the error matrix ∆A can be
ˆ
derived as
∆ωr J  21 i 22  pe = A e + A e + A sr
22
∆A11 = 0, ∆A12 = , ∆A21 = 0, ∆A22 = −∆ωr J
ε
whereApplying Laplace transform to (6) and (7) gives

→ → →ˆs →ˆs
[sI − ( A11 − K )] e i = A12 e λ + ∆A12 λ r + ∆A11 i s
ˆs (8)
ˆ s e  = r −  r ,
s
→ → →
[sI − A22 ] e λ = A21 e i + ∆A22 λ r (9)
The stator current error can be expressed using a speed error as [5]

→ →ˆs  A11 (10)

A12 
e ω = Gω (s) · J λ r ∆ωr ˆ
A = A − A =  
where A
 21  A 22 

Mathematics 2022, 10, 1710 5 of 21

sh 2 i −1
Gω (s) = s I + s ( a1 I + a2 J ) + ( a3 I + a4 J ) (11)
ε
L2m
 
Rs 1
a1 = σL s
+ σLs Tr Lr + Tr + K 1

a 2 = ( K 2 − ωr )
2
h   i
a3 = 1
Tr
Rs
σLs+ σLLs Tmr Lr − εTLm
r
+ K 1 + K 2 ω r
2
h  i
K2 Rs Lm Lm
a4 = Tr − ωr σL s
+ σLs Tr Lr − εTr + K 1

Then, Equation (10) gives

 
 s
e1q = λ̂r G 0 ω22 (s)∆ωr (12)

The TF of G 0 ω22 (s) can be expressed by (13). It is derived to plot a root locus for
poles/zeros allocation.

s3 + a1 s2 + ω2o + a3 s + ω2o a1 + ωo a4


0
G ω22 (s) = h i (13)
2
ε (s2 + a1 s − ω2o − ωo a2 + a3 ) + ((2ωo + a2 )s + ωo a1 + a4 )2

where ωo is the rotor flux frequency.

3. Derivation of AFO Stability Conditions

0
The zeros of Gω22 (s) must be located at the left-half s-plane only; otherwise, the domi-
nant poles will be unstable.
The Routh–Hurwitz criterion was used to obtain the conditions that maintain the roots
0
of the numerator of Gω22 (s) in the stable region. The following conditions were obtained:
ωo (ωo − ωcr ) > 0 (14)

a1 > 0 (15)
a 1 a 3 − a 4 ωo > 0 (16)
where ωcr = − aa14
is the critical frequency.
From (14), the condition of stable zeros is guaranteed if the critical frequency becomes
less than the operating frequency ωcr < ωo . Otherwise, the AFO becomes unstable.
Condition (15) is satisfied only if the observer feedback gain K1 = 0 as a design
restriction.
Finally, unstable complex conjugate zeros of Gω22 0 (s) occurs if the condition (16) is
violated; consequently, the dominant corresponding poles of Gω22 0 (s) will move toward
the unstable zeros.
Setting the feedback gains K1 and K2 to zero in the constants a1 , a3 , and a4 , the condition
(16) becomes
L2m
 
1 Rs 1
− ω o · ωr < + + (17)
Tr σLs σLs Tr Lr Tr
Condition (16) may be violated only under (ωo · ωr < 0). This occurs in the plugging
mode when the slip frequency is larger than ωo & ωr . Practically, these unstable zeros can
hardly occur in normal operation since the slip frequency is only about (3–5) % of the rated
frequency.
From the presented analysis, it can be concluded that, condition (16) is the most severe
stability restriction for AFO. To satisfy this condition, the working frequency should exceed
the critical frequency.
At zero feedback gains (K1 = K2 = 0), the critical frequency is dependent on the speed
and can be computed as
ωr
ωcr =  2
 (18)
1 + Rs Tr + RsLTmr Lr
σLs
 Mathematics 2022, 10, 1710 6 of 21

On the basis of (18), it is clear that ωcr < ωr . Therefore, two cases can be considered:

Case 1: ωr < ωo (motoring mode). Condition (14) with ωcr < ωo is ensured.

Case 2: ωr > ωo (regenerating mode) with negative loads. From (14), it can be derived that the
unstable issue arises only when working under the condition of ωo < ωcr < ωr .

This occurs under negative loads during the regenerating mode. The design of OFGs
(K1 and K2 ) in the regenerating mode is considered the main stability issue for AFO [25–30].
Root locus plot is used to study the stability of AFO using (13). At zero OFGs (K1 = K2 = 0),
the theoretical analysis of dominant zero locations in motoring and regenerating modes are
given in Figures 2 and 3, respectively. It is observed that the AFO is a stable in the motoring
Mathematics
Mathematics2022,
2022,10,
10,xxFOR
FORPEER
PEERREVIEW
mode with zero OFGs as shown in Figure 2. However, instability issue is observed in the 77 of
REVIEW of 21
21
regenerating mode with zero OFGs as shown in Figure 3 due to the unstable zero of the
speed estimator (13).
Pole-Zero
Pole-ZeroMap
Map
15
15

10
10

55
Axis
ImaginaryAxis

00
Imaginary

-5
-5

-10
-10

-15
-15
-300
-300 -250
-250 -200
-200 -150
-150 -100
-100 -50
-50 00
Real Axis
Real Axis
Figure 2. Poles and zerosofof 0 𝐺 (s )(𝑠) during the
Figure
Figure2.2.Poles
Polesand
andzeros
zeros Gω22
of 𝐺 (𝑠) during themotoring
the motoring
during modemode
motoring of
ofoperation
of operation
mode at
atlow
at low speed
operation speed
(20
low rpm)(20
speed (20rpm)
rpm
and
and zero
zero feedback
feedback gains
gains (K (K
=1K= K= = 0).
2 0).
and zero feedback gains1(K1 =2 K2 = 0).

Pole-Zero Map
15 Pole-Zero Map
15

10
10

5
5
Axis
ImaginaryAxis

0
Imaginary

Unstable
Unstable
-5
-5 Zeros
Zeros
-10
-10

-15
-15
-300 -250 -200 -150 -100 -50 0 50
-300 -250 -200 -150 -100 -50 0 50
Real Axis
Real Axis
of Gω22𝐺(s) during 0
of 𝐺 (𝑠)
Figure 3.3.Poles
Figure and zeros the regenerating mode of operation at low speedat
(20 rpm)
Figure 3. Poles
Poles and
and zeros
zeros of (𝑠) during
during the
the regenerating
regenerating mode
mode ofof operation
operation at low
low speed
speed (20
(20
and
rpm)zero
and feedback
zero gains
feedback (K =
gains
1 K = 0).
2 (K1 = K2 = 0).
rpm) and zero feedback gains (K1 = K2 = 0).

To
To deal
deal with
with this
this obstacle,
obstacle, the
the OFGs
OFGs should
should be
be appropriately
appropriately selected.
selected. Previous
Previous
works
works have designed the OFGs by different mathematical algorithms. These works guar-
have designed the OFGs by different mathematical algorithms. These works guar
antee
antee the
the stability
stability and
and ensure
ensure aa good
good dynamic
dynamic performance.
performance. However,
However, the
the fixed
fixed OFGs
OFGs
Mathematics 2022, 10, 1710 7 of 21

To deal with this obstacle, the OFGs should be appropriately selected. Previous works
have designed the OFGs by different mathematical algorithms. These works guarantee the
stability and ensure a good dynamic performance. However, the fixed OFGs cannot achieve
the desired performance under different operating conditions, particularly parameter
mismatch. Therefore, the motivation of this paper is to design the OFGs to guarantee a
stable AFO, particularly at low speeds in the regenerating mode. These OFGs are tuned
under parameter mismatch to ensure a good dynamic performance. Two optimization
approaches using GA and PSO techniques are employed for this purpose. The OFGs are
tuned under parameter mismatch.

4. Optimization of OFGs Using GA and PSO

The OFGs are optimized under parameter mismatch to enhance the dynamic perfor-
Mathematics 2022, 10, x FOR PEER REVIEW 8 of 21
mance of the system to guarantee a stable AFO, particularly at low speeds in the regenerat-
ing mode. Two optimization algorithms (GA and PSO) are employed and compared for
this purpose.
4.1. Genetic Algorithm
4.1. Genetic Algorithm
GA is a powerful modern optimization algorithm that searches for a global optimal
GAtoiscomplicated
solution a powerful modern optimization
optimization problems.algorithm that searches
It is inspired by naturalfor a globaland
selection optimal
nat-
solution to complicated optimization problems. It is inspired by natural selection
ural genetics. It is started with a random population of guesses that will spread through- and
natural genetics. It is started with a random population of guesses that will spread
out the search space. Selection, crossover, and mutation are applied iteratively to force thethrough-
out the search
algorithm space.
towards the Selection, crossover,
optimal solution. anddetails
More mutation areGA
on the applied
model iteratively to force
can be found in
the
[38]. algorithm towards the optimal solution. More details on the GA model can be found
in [38].
4.2. Particle Swarm Optimization Technique
4.2. Particle Swarm Optimization Technique
PSO is a population-based optimization technique inspired by social behavior of bird
PSO is a population-based optimization technique inspired by social behavior of bird
flocking. Particles fly around in the search space where each particle updates its position
flocking. Particles fly around in the search space where each particle updates its position
according to self-experience and the neighbor particles experience. In the solution swarm,
according to self-experience and the neighbor particles experience. In the solution swarm,
particles are flown through the search space by following the current optimum particle.
particles are flown through the search space by following the current optimum particle.
Each particle keeps track of its own best solution that it has achieved so far (pbest). The
Each particle keeps track of its own best solution that it has achieved so far (pbest). The
best value obtained so far by any particle in the swarm is known as the global best (gbest).
best value obtained so far by any particle in the swarm is known as the global best (gbest).
PSO
PSOmodelling
modellingandanddetails
detailscan
canbe
befound
foundin in[39].
[39].
The
The OFGs are optimized by GA andPSO
OFGs are optimized by GA and PSOunder
underdeviations
deviationsof ofstator
statorresistance
resistanceand
and
mutual
mutual inductance to guarantee a stable dominant zero in the regenerating mode.
inductance to guarantee a stable dominant zero in the regenerating mode. The
The
dominant
dominant zeros obtained by PSO have a superior location than that obtained by GAfor
zeros obtained by PSO have a superior location than that obtained by GA for
both
bothstator
statorresistance
resistanceand
andmutual
mutualinductance
inductance deviations,
deviations, as
as shown
shown in
in Figure
Figure 4.
4.

(a) (b)
Figure
Figure4.4.Optimal
Optimallocation
locationofofdominant
dominantzero
zeroininthe
theregenerating
regeneratingmode
modeusing
usingPSO
PSOand
andGA.
GA.(a)
(a)Under
Under
stator resistance deviation; (b) under magnetizing inductance deviation.
stator resistance deviation; (b) under magnetizing inductance deviation.

The
Theoptimal
optimal adaptation of OFGs
adaptation of OFGs(K (K11and
andKK2 )2)are
areshown
shownininFigure
Figure
5. 5. It shown
It is is shownthatthat
the
the value of K has almost constant value over a wide range of deviations either
value of K2 has almost constant value over a wide range of deviations either in resistance
2 in re-or
sistance or mutual inductance. Therefore, K2 is independent on the parameters’ uncertain-
ties, and it will be kept constant at (−0.6356). However, the value of K1 is dependent on the
deviation of machine parameters (Rs, Lm).
 Mathematics 2022, 10, 1710 8 of 21
Mathematics 2022, 10, x FOR PEER REVIEW 9 of 21

mutual inductance. Therefore, K2 is independent on the parameters’ uncertainties, and it

Mathematics 2022, 10, x FOR PEER REVIEW 9 of 21
will20
be kept constant at (−0.6356). However, the value of K1 is dependent on the deviation
K1
of machine parameters (Rs , Lm ). K1

Observer Feedback Gains

K2 15
K2

Observer Feedback Gains

2015
K1
K1

Observer Feedback Gains

K2 15
Observer Feedback Gains 1510 10 K2

10 5 10
5
5
0 5
0
0
-5 0
-60 -40 -20 0 20 40 60 -20 -10 0 10 20
-5 Deviation in Rs (%) Deviation in Lm (%)
-60 -40 -20 0 20 40 60 -20 -10 0 10 20
Deviation(a)
in Rs (%) (b)(%)
Deviation in Lm

Figure 5. The optimal (a)setting of observer feedback gains (K1 and K(b) 2) at different deviations in Rs and

m using
LFigure
Figure 5.5.
ThePSO.
The (a) Under
optimal setting
optimal stator
setting resistance
ofofobserver
observer deviation;
feedback gains
feedback (b)
gains(K(K under
1 and
1 K
and K
2 ) at
2 ) magnetizing
different
at inductance
deviations
different s deviation.
ininRsRand
deviations and
LmLusing PSO.
m using (a)(a)
PSO. Under stator
Under resistance
stator deviation;
resistance (b)(b)
deviation; under magnetizing
under inductance
magnetizing deviation.
inductance deviation.
A very useful advantage of using PSO over GA is that the relation between K1 and
AAvery
very
resistance or useful
useful advantage
advantage
reactance ofofusing
deviationsusing PSO
PSO
can overGA
beover GAisisthat
represented that the
bythe relationbetween
relation between
a deterministic andKK and linear
and
1 1
mostly
resistanceororreactance
resistance reactancedeviations
deviationscan
canbeberepresented
representedbybya adeterministic
deterministicandandmostly
mostlylinear
linear
relationship. This relationship can be extracted from designing gain K1 over a wide range
relationship.This
relationship. Thisrelationship
relationshipcan
canbebeextracted
extractedfrom
fromdesigning
designinggaingainKK 1 over
1 over a awide
widerange
range
of resistance and reactance deviations, as shown
of resistance and reactance deviations, as shown in Figure 6.in Figure 6.
of resistance and reactance deviations, as shown in Figure 6.

20
20
Observer Gain K1
Observer Gain K1

15
15

10
10

5
50 5
50
De 20
Dveiation 0 0
20
via in 0 %)
tion Rs
tion in
0Lm ( )
in R(%) -50 -20 De via Lm (%
s (%) -50 -20 tion in
De via
Figure 6. The optimal setting of observer feedback gain K1 at different deviations in Rs and Lm using
Figure 6.
Figure
PSO. The optimal
6. The optimalsetting of observer
setting feedback
of observer gain K1gain
feedback at different
K1 at different in Rs and Lm in
deviations deviations using PSO.Lm using
Rs and
PSO.
To extract a formula for gain K as a function of deviation in stator resistance and
To extract a formula for gain K1 1as a function of deviation in stator resistance and
mutual inductance (∆Rs , ∆Lm ), the 3D relationship in Figure 6 was analyzed considering
mutual Toinductance
extract a (ΔR s, ΔLm),for
formula thegain
3D relationship in Figure
K1 as a function of 6deviation
was analyzed considering
in stator resistance and
the following cases:
the following cases:
mutual inductance (ΔRs, ΔLm), the 3D relationship in Figure 6 was analyzed considering
the
Basefollowing gain K is designed at each operating point of (∆R , ∆L ) over a wide range of
Case: Thecases:
Base Case: The gain K1 1is designed at each operating point of (ΔRs, sΔLm)mover a wide range of
variations. This case is considered the reference used to measure the degree of accuracy for the
variations. This case is considered the reference used to measure the degree of accuracy for the
extracted
Base relationships
Case: The gain in other cases. at each operating point of (ΔRs, ΔLm) over a wide range of
extracted relationships in K 1 is designed
other cases.
variations. This case is considered the reference used to measure the degree of accuracy for the
Case 1: The gain K1 is designed considering the deviation in resistance ∆Rs , while the deviation in
extracted
Case 1: Therelationships in other
gain K1 is designed cases. the deviation in resistance ΔRs, while the deviation in
considering
the mutual inductance is considered constant (i.e., ∆Lm = 0) and its effect is neglected. From the
the mutual inductance is considered constant (i.e., ΔLm = 0) and its effect is neglected. From the
linear relationship between gain K1 and ∆Rs , as shown in Figure 6, the following formula can be
Case
linear 1: The gainbetween
relationship
deduced: K1 is designed considering
gain K1 and the deviation
ΔRs, as shown in Figurein6,resistance ΔRsformula
the following , while the
can deviation
be in
deduced:
the mutual inductance is consideredKconstant
= a · ∆R(i.e.,+ ΔL
a m = 0) and its effect is neglected. From the
1 1 s 2
1 and ΔRs, as shown in Figure 6, the following formula can be
linear relationship between gain K𝐾
1 = 𝑎1 . ∆𝑅𝑠 + 𝑎2
deduced:
Case 2: The gain K1 is designed considering𝐾 1 =
the 𝑎1 . ∆𝑅in
deviation 𝑠 + 𝑎2
resistance ΔRs as well as the deviation
in reactance ΔLm. The linear relationship between K1 and ΔRs can be extracted from Figure 7, as
in the following formula:
 Mathematics 2022, 10, x FOR PEER REVIEW 10 of 21

Mathematics 2022, 10, 1710 𝐹1 (∆𝑅𝑠 ) = 𝑏1 . ∆𝑅𝑠 + 𝑏2 9 of 21

The superimposed effect of ΔLm on the observer feedback gain K1 can be extracted linearly from
Figure 7, as in the following formula:
Case 2: The gain K1 is designed𝐹2 (considering
∆𝐿𝑚 ) = 𝑏3 . ∆𝐿
the𝑚deviation
. (𝑏4 . ∆𝑅 +in𝑏resistance
5)
∆Rs as well as the deviation
in reactance ∆Lm . The linear relationship between K1 and ∆Rs can be extracted from Figure 7, as in
𝐾1 = 𝐹1 (∆𝑅𝑠 ) + 𝐹2 (∆𝐿𝑚 )
the following formula:
F1 (∆Rs ) = b1 · ∆Rs + b2

20 0
Observer Feedback Gain K1

Effect of Rs Deviation
-0.2

Effect of Lm Deviation
15 -0.4
%Rs = - 50
-0.6

%Rs = - 45
10 -0.8

Effect of Lm Deviation -1 %Rs = 45

%Rs = 50
5 -1.2
-50 0 50 -20 -10 0 10 20
Deviation in Rs (%) Deviation in Lm (%)
(a) (b)
Figure 7. Effect of deviation in Rs and superimposed effect of deviation in Lm on the observer feed-
Figure 7. Effect of deviation in Rs and superimposed effect of deviation in Lm on the observer
back gain K1 using PSO. (a) Under stator resistance deviation; (b) under magnetizing inductance
feedback gain K1 using PSO. (a) Under stator resistance deviation; (b) under magnetizing inductance
deviation.
deviation.
Case 3: The gain K1 is designed considering a linear deviation in resistance ΔRs while considering
The superimposed
a quadratic deviation ineffect of ∆L
reactance mmon
ΔL as the observer
in the feedback
following gain K1 can be extracted linearly from
formula:
Figure 7, as in the following formula:
𝐾1 = 𝐶1 . (∆𝐿𝑚 )2 + 𝐶2 . ∆𝐿𝑚 + 𝐶3
F2 (∆Lm ) = b3 · ∆Lm · (b4 · ∆R + b5 )K1 = F1 (∆Rs ) + F2 (∆Lm )
𝐶1 = 𝑐1 . ∆𝑅𝑠 + 𝑐2
𝐶2 = 𝑐3a. ∆𝑅
Case 3: The gain K1 is designed considering 𝑠 + 𝑐
linear deviation
4 in resistance ∆Rs while considering
a quadratic deviation in reactance ∆Lm𝐶 as=in
𝑐 the
. ∆𝑅following
+ 𝑐 formula:
3 5 𝑠 6
2
K = C · (∆L ) + C · ∆L + C
m 2 m 3
In the extracted formulas 1in all cases,
1
the constants are deduced from the curve fit-
ting, as given in Table 1. C1 = c1 · ∆Rs + c2
C2 = c3 · ∆Rs + c4
Table 1. Extracted formulas and associated constants.
C3 = c5 · ∆Rs + c6
Formula/Constant Curve Fitting Value
In the extracted formulas in all cases, the constants
a1 are deduced from the curve fitting,
0.116270
as given in Table𝐾1. = 𝑎 . ∆𝑅 + 𝑎 a2 11.633000
b1 0.116600
Table 1. Extracted formulas and associated constants.
b2 11.662000
𝐾 = 𝐹 (∆𝑅 ) + 𝐹 (∆𝐿 )
Formula/Constant b3 −0.025000
Curve Fitting Value
b4 0.007938
a1 0.116270
K1 = a1 · ∆Rs + a2 b5 0.696600
a2 11.633000
c1 1.29830 × 10−6
𝐾 = 𝐶 . (∆𝐿 ) + 𝐶 . ∆𝐿 + 𝐶 b1c2 0.116600
1.13030 × 10 −4
b2 11.662000
K1 = F1 (∆Rs ) + F2 (∆Lm ) b3 −0.025000
b4 0.007938
b5 0.696600
c1 1.29830 × 10−6
c2 1.13030 × 10−4
c3 −1.97280 × 10−4
K1 = C1 · (∆Lm )2 + C2 · ∆Lm + C3
c4 −0.017315
c5 0.116080
c6 11.617000
 c5 0.116080
c3 −1.97280 × 10−4
c6 11.617000
c4 −0.017315
c5 0.116080
Mathematics 2022, 10, 1710 Figure 8 shows a comparison between the error measures for the different
10 of 21 form
c 6 11.617000
in the proposed design cases of the gain K1. Case 3 involving the quadratic representa
gives superior error measures compared to the other two design methods.
Figure 8 shows a comparison between the error measures for the different form
Figure 8 shows a comparison between the error measures for the different formulas in
in
thethe proposed
proposed design
design casescases
of theof theKgain
gain K1. Case 3 involving the quadratic representa
1 . Case 3 involving the quadratic representation
gives 100
gives superior Case
superiorerror
error 1
measures
measures compared
compared to the to thetwo
other other twomethods.
design design methods.
Case 2
Case 3
80 Case 1
Error Error
100
Case 2
Case 3
Percentage
60
80

40
Percentage

60

20
40

0
20 Minimum Mean Maximum
Error Measure
Figure0 8. Comparison between error measures for different design cases.
Minimum Mean Maximum
Error Measure
5. Simulation and Experimental Results
Figure 8.8.Comparison
Figure Comparisonbetween errorerror
between measures for different
measures design cases.
for different design cases.
5.1. Performance at Very Low Speed during Motoring Mode
5. Simulation and Experimental Results
5. Simulation and
Simulation practical tests displaying the behavior of SIM drive at very
5.1. Performance andat VeryExperimental
Low Speed during Results
Motoring Mode
speeds are presented in Figures 9 and 10, respectively. The rated values and parame
5.1. Performance
Simulation and at practical
Very Low Speed
tests duringthe
displaying Motoring
behaviorMode
of SIM drive at very low speeds
of the IM
are presented
arein
given
Figures
in9
Appendix
and 10,
A (Table
respectively. The
A1). Avalues
rated
speedand reference
parameters
of 0.04 p.u (6.28 ra
was Simulation
applied at Tand practical tests displaying the behavior of SIM ofdrive
L = 0. Then, TL = +7 N.m at t = 2 s was applied. The first subplot disp
the IMat very
are given in Appendix A (Table A1). A speed reference of 0.04 p.u (6.28 rad/s) was applied
speeds
the are presented in Figures 9 and 10,(red respectively. The rated values and parame
at TLactual (black
= 0. Then, TL = color)
+7 N.mand at t =estimated
2 s was applied. color)
The firstspeeds
subplot in p.u.
displays The second
the actual sub
of the IM are given in Appendix A (Table A1). A speed
demonstrates the iqs current component in Ampere. The third subplot presents the
(black color) and estimated (red color) speeds in p.u. The second reference
subplot of 0.04
demonstrates p.u
the (6.28 ra
was applied
iqs current
rotor at p.u.
component
fluxes in TL = It0.
inisThen,
notedTLthat
Ampere. = +7
The N.m
third
the at t =presents
subplot
estimated 2 sspeed
wasthe applied.
d-q rotorThe
properly first
fluxes
tracked in subplot
It disp
p.u. actual
the sp
the actual
is noted that(black color)
the estimated and
speed estimated
properly (red
tracked color)
the actualspeeds in
speed. This
This agrees with the theoretical analysis that the operation of SIM drive has no stab p.u.
agreesThewithsecond
the sub
theoretical analysis
demonstrates thethat
iqsthe operation
current of SIM drive
component inhas no stability
Ampere. Theissue
thirdat very low speeds
subplot presents the
issue
in the
at very low
motoring mode.
speeds in the motoring mode.
rotor fluxes in p.u. It is noted that the estimated speed properly tracked the actual sp
This agrees with the theoretical analysis that the operation of SIM drive has no stab
issue at very low speeds in the motoring mode.

Figure 9.9. Simulation

Figure Simulationtests
testsat at
low speeds.
low Speed
speeds. reference
Speed of 0.04
reference p.u (6.28
of 0.04 rad/s)
p.u (6.28 with with
rad/s) rated rated
TL TL ch
change of +7 N.m at
of +7 N.m at t = 2 s. t = 2 s.

Figure 9. Simulation tests at low speeds. Speed reference of 0.04 p.u (6.28 rad/s) with rated TL cha
of +7 N.m at t = 2 s.
Mathematics 2022, 10, x FOR PEER REVIEW 12
Mathematics 2022, 10, 1710 11 of 21

Measured

Speeds (rad/sec)
iqs (Amp.) Estimated
dq Fluxes (Wb)

Time (s)
10.Practical
Figure 10.
Figure Practical tests at low
tests speeds.
at low SpeedSpeed
speeds. reference of 0.04 p.u
reference of(6.28
0.04rad/s) withrad/s)
p.u (6.28 rated Twith
L change
rated TL ch
of +7
of +7 N.m
N.matatt =t =2 s.
2 s.
5.2. Working at Very Low Speed during Regenerating Mode
5.2. Working at Very Low Speed during Regenerating Mode
To confirm the theoretical analysis of stable and unstable operation of SIM drive at
To confirm
very low the theoretical
speed during regeneratinganalysis
mode, weofpresent
stabletheand unstableand
simulation operation of SIM driv
experimental
very low speed during regenerating mode, we present the simulation and of
tests in Figures 11 and 12, respectively. In the simulation results, the speed reference experime
0.08 p.u
tests in (12.56 rad/s)
Figures was applied
11 and at no-load torque
12, respectively. In the(Tsimulation
L = 0), and the negative
results, therated loadreferenc
speed
torque change of TL = −7 N.m was applied at t = 2 s. In the experimental results, the speed
0.08 p.u (12.56 rad/s) was applied at no-load torque (TL = 0), and the negative rated l
reference of 0.08 p.u (12.56 rad/s) was applied at no-load torque (TL = 0), and the negative
torque
rated loadchange TL = −7ofN.m
torqueofchange was
TL = − applied
7 N.m at t = 2ats.tIn
was applied thes.experimental
= 2.2 It was observed results,
that the sp
reference
the estimated speed diverged from the actual speed. The current iqs was distorted andthe nega
of 0.08 p.u (12.56 rad/s) was applied at no-load torque (T L = 0), and
rated
deviatedload torque
of the actualchange
value. of
The = −7 N.m
TLdq-rotor wasdiverged
fluxes appliedfrom at t the
= 2.2 s. Itvalues.
rated was observed
Then, that
the speed SIM drive was unstable with zero OFGs (K = K = 0). This
estimated speed diverged from the actual speed. The current iqs was distorted and d
1 2 agrees with the
theoretical analysis that the operation of SIM drive has a stability issue at very low speeds
ated of the actual value. The dq-rotor fluxes diverged from the rated values. Then,
in the regenerating mode.
speed SIM drive was unstable with zero OFGs (K1 = K2 = 0). This agrees with the theore
analysis that the operation of SIM drive has a stability issue at very low speeds in
regenerating mode.
Mathematics
Mathematics 2022, 10, x FOR
FOR PEER
PEER REVIEW 13 of 21
Mathematics2022,
2022,10,
10, x1710 REVIEW 12 of1321of 21

Figure
Figure 11. Simulation
11. Simulation
Figure 11. tests
Simulationtests at
ataaaspeed
testsat speed reference
referenceofof
speedreference 0.08
of0.08 p.u
0.08p.u (12.56
(12.56
p.u rad/s)
rad/s)
(12.56 with
rad/s)with rated
withrated TLT
rated changeofof
TLchange
L change of −7
−7
N.m
− 7 at
N.m t =
at 2
t s.
= 2Unstable
s. AFO
Unstable AFO (K 1(K= K
N.m at t = 2 s. Unstable AFO (K1 =1 K2 =20).= =
2K 0).
= 0).

Measured
(rad/sec)

Measured
Speeds(rad/sec)
Speeds

Estimated
Estimated
(Amp.)
iqs(Amp.)
iqs
dqFluxes
dq (Wb)
Fluxes(Wb)

Time
Time (s)
(s)
Figure
Figure
Figure12.12. Practical
12.Practical tests
testsatat
Practicaltests aa
at a speed
speed
speed reference
reference of
of 0.08
of 0.08
reference p.u p.u
0.08 (12.56
(12.56
p.u rad/s)
rad/s)
(12.56 withwith
rad/s) ratedrated
with T
TLL change
TL change
rated of −7of
change −7
−7 N.m
N.m
of N.m
at t = 2 s. Unstable
Unstable AFO
AFO
at t = 2 s. Unstable AFO (K (K
(K 1 == KK2 =
= 0).
0).
1 1 = K22 = 0).

Identical
Identical simulation andandexperimental results are presented using the proposed OFGs
Identical simulation
simulation and experimental
experimental results
results are
are presented
presented using
using the
the proposed
proposed
in Figures 13 and 14, respectively. As is obvious, the estimated speed properly tracked
OFGs in Figures 13 and 14, respectively. As is obvious, the estimated speed properly the
OFGs in Figures 13 and 14, respectively. As is obvious, the estimated speed properly
tracked
tracked the
the actual
actual speed.
speed. In
In the
the regenerating
regenerating mode
mode of
of SIM
SIM drive,
drive, the
the performance
performance at
at very
very
low
low speeds
speeds was
was stable
stable with
with the
the proposed
proposed OFGs.
OFGs.
 Mathematics 2022, 10, 1710 13 of 21

Mathematics
Mathematics 2022,
2022, 10,
10, xx FOR
FOR PEER
PEER REVIEW
REVIEW 14
14 of
of 21
21
actual speed. In the regenerating mode of SIM drive, the performance at very low speeds
was stable with the proposed OFGs.

Figure
Figure 13.
Figure13. Simulation
13.Simulation tests
testsatat
Simulationtests ata aaspeed
speed
speed reference
ofof
reference
reference of 0.08
0.08
0.08 p.up.u
p.u (12.56
(12.56
(12.56 rad/s)
rad/s)
rad/s) with
with
with rated
TLTTchange
rated
rated LL change
of of
change of −7
−7
N.m
−N.m at
at tat
7 N.m t ==t22=s.s.2 s.
Speeds (rad/sec)

Measured
Measured

Estimated
Estimated
qs (Amp.)
iqs dq Fluxes (Wb)

Time
Time (s)
(s)
Figure
Figure14.
Figure 14.Practical
14. Practicaltests
Practical testsofof
tests ofatat
ata aaspeed
speedreference
speed ofof
reference
reference 0.08
of p.u
0.08
0.08 (12.56
p.u
p.u rad/s)
(12.56
(12.56 with
rad/s)
rad/s) rated
with
with TLTTchange
rated
rated of of
LL change
change of −7
−7
− 7 N.m
N.m
N.m at tat
at t ==t22=s.s.2 s.
Mathematics 2022, 10, x FOR PEER REVIEW 15 of 21

Mathematics 2022, 10, 1710 14 of 21

5.3. Fast Speed Reversal

5.3. The
Fast SIM
Speeddrive using the designed OFGs was also examined during the performance
Reversal
at low-speed reversal.
The SIM drive using In the
thedesigned
simulation results
OFGs of Figure
was also examined 15, during
the SIMthe
drive worked in the
performance
motoring mode
at low-speed (forward)
reversal. In theatsimulation
a speed reference
results of of 0.04 15,
Figure p.uthe
(6.28
SIMrad/s)
drive during
workedtin= the
0 to 2 s at
TLmotoring
= 0. Then,mode (forward) at a speed
a positive-rated reference
TL = +7 N.m atoft 0.04
= 2 sp.u
was (6.28 rad/s) The
applied. during t = 0 reference
speed to 2 s at was
TL = 0. Then,
reversed a positive-rated
to −0.04 TL = +7
p.u (−6.28 rad/s) atN.m
t = 4ats with
t = 2 srated
was applied. The speed
load torque of TLreference
= +7 N.m. wasThe SIM
reversed to − 0.04 p.u ( − 6.28 rad/s) at t = 4 s with rated load torque
drive operated in the regenerating mode during t = 4 to 10 s withL negative speed of T = +7 N.m. The and
SIM drive operated in the regenerating mode during t = 4 to 10 s with negative speed and
positive load torque. The load torque was removed at t = 10 s. Then, SIM operated in the
positive load torque. The load torque was removed at t = 10 s. Then, SIM operated in the
motoring mode (reverse) during t = 10 to 12 s at no-load torque. Identical experimental
motoring mode (reverse) during t = 10 to 12 s at no-load torque. Identical experimental
results
resultsare
are presented
presented in inFigure
Figure1616 with
with some
some differences
differences in theintime
the periods.
time periods.

Figure15.
Figure Simulationtests
15.Simulation tests at
at aaspeed
speed reference
reference of
of 0.04
0.04 p.u
p.u(6.28
(6.28rad/s)
rad/s) was changed−−0.04
waschanged 0.04 p.u
p.u (−6.28
(−6.28
rad/s) rad/s)
with with T
a rated a Lrated
changeTL change of +7applied
of +7 N.m N.m applied
at t =at2 ts=and
2 s and removed
removed t = t10
= 10
s. s.

As is obvious, a significant convergence between the estimated speed and the actual
one was achieved using with the proposed OFGs.

5.4. Slow Speed Reversal

The SIM drive using the designed OFGs was examined during the performance at slow
speed reversal at low speeds. In the simulation results shown in Figure 17, the SIM drive
operated in the motoring mode (forward) at a speed reference of 0.06 p.u (9.42 rad/s) during
t = 0 to 1 s at no-load torque (TL = 0). Then, a positive rated load torque of (TL = +7 N.m) at
t = 1 s was applied. The speed reference was slowly reversed to −0.06 p.u (−9.42 rad/s) at
t = 5 s with rated load torque of TL = +7 N.m at t = 20 s. Then, the speed reference was again
slowly reversed to 0.06 p.u (9.42 rad/s) at t = 20 s with rated load torque of TL = +7 N.m
to t = 35 s. The SIM drive operated in the motoring mode, plugging mode, regenerating
mode, and the plugging mode, and finally the motoring mode. Identical experimental
results are presented in Figure 18 with some differences in the time periods. As is obvious,
a significant convergence between the estimated speed and the actual one was achieved
using with the proposed OFGs.
Mathematics 2022,
Mathematics 2022, 10, x1710
FOR PEER REVIEW 1615ofof 21
21

Measured

Speeds (rad/sec)
Estimated
iqs (Amp.)
dq Fluxes (Wb)

Time (s)
Mathematics 2022, 10, x FOR PEER REVIEW 17 of 21
Figure
Figure 16.
16. Practical
Practicaltests at at
tests a speed reference
a speed of 0.04
reference p.u p.u
of 0.04 (6.28(6.28
rad/s) was changed
rad/s) −0.04 −
was changed p.u (−6.28
0.04 p.u
rad/s)
(−6.28with
rad/s)a rated
with TaLrated
changeTL of +7 N.m
change of applied
+7 N.m at t = 2 s at
applied andt =removed t = 10 s. t = 10 s.
2 s and removed

0.1 is obvious, a significant convergence between the estimated speed and the actual
As
one was achieved using with the proposed OFGs.
0
5.4. Slow Speed Reversal
-0.1
The SIM5drive10 using 15
the designed OFGs30 was examined during the performance at
20 25 35
4
slow speed reversal at low speeds. In the simulation results shown in Figure 17, the SIM
drive operated in the motoring mode (forward) at a speed reference of 0.06 p.u (9.42 rad/s)
2
during t = 0 to 1 s at no-load torque (TL = 0). Then, a positive rated load torque of (TL = +7
N.m) at 0 t = 1 s was applied. The speed reference was slowly reversed to −0.06 p.u (−9.42
rad/s) at t = 55s with10rated 15 20
load torque of25TL = +7
30N.m 35
at t = 20 s. Then, the speed reference
1
was again slowly reversed to 0.06 p.u (9.42 rad/s) at t = 20 s with rated load torque of TL =
+7 N.m0 to t = 35 s. The SIM drive operated in the motoring mode, plugging mode, regen-
erating mode, and the plugging mode, and finally the motoring mode. Identical experi-
mental-1results are presented in Figure 18 with some differences in the time periods. As is
5 10 15 20 25 30 35
obvious, a significant convergence
Time [sec] between the estimated speed and the actual one was
achieved using with the proposed OFGs.
Figure Simulationtests
17. Simulation
Figure 17. testsatata speed
a speed reference
reference of 0.06
of 0.06 p.up.u (9.42
(9.42 rad/s)
rad/s) was changed
was changed slowly
slowly to
to −0.06
− 0.06
p.u (−9.42 −9.42with
p.u (rad/s) rad/s)
anwith an applied
applied TL of
TL change change of applied
+7 N.m +7 N.m applied
at t = 2 s.at t = 2 s.

Measured
(rad/sec)
 0

-1
5 10 15 20 25 30 35
Time [sec]
Mathematics 2022, 10, 1710 16 of 21
Figure 17. Simulation tests at a speed reference of 0.06 p.u (9.42 rad/s) was changed slowly to −0.06
p.u (−9.42 rad/s) with an applied TL change of +7 N.m applied at t = 2 s.

Measured

Speeds (rad/sec)
iqs (Amp.)
dq Fluxes (Wb) Estimated

Time (s)
Figure 18. Experimental
Experimental tests
tests at
at a speed reference of 0.06 p.u
p.u (9.42
(9.42 rad/s)
rad/s) was
was changed
changed slowly
slowly to
−0.06
−0.06p.u
p.u(−9.42
(−9.42rad/s) with
rad/s) anan
with applied load
applied torque
load change
torque of of
change +7+7N.m
N.m applied at at
applied t =t2=s.2 s.

5.5. Zero
5.5. Zero Speed
Speed
The SIM
Mathematics 2022, 10, x FOR PEER REVIEWThe SIM drive
drive with
with the
the proposed
proposed OFGsOFGs waswas examined during the
examined during the performance
performance at
18 of at
21
zero speed. As shown in the simulation results of Figure 19, the SIM
zero speed. As shown in the simulation results of Figure 19, the SIM drive operated at drive operated at
zero speed
zero speed reference
referenceatatno-load
no-loadtorque
torque(T(T = 0).
L 0).
L =
Then,
Then, a positive
a positive ratedrated
load load
torque torque
of (TLof=
(T
+7 L = +7
N.m) wasN.m) was applied at t = 4 s. Following this, the rated load torque of T L = +7 N.m
removed
was at t applied
removed =at12t = at t = 4 s.experimental
s. 12
Identical Following this,
s. Identical experimental
the are
results rated load torque
resultspresented
of TL 20.
in Figure
are presented
= +7As
in Figure
N.m was
is obvi-
20. As is
ous, the SIM
obvious, drivedrive
the SIM operated stably
operated at zero
stably speed
at zero using
speed the proposed
using OFGs.
the proposed OFGs.

Figure 19. Simulation

Simulation tests testsat
atspeed
speedreference
referenceofof00p.u
p.u(0(0rd/s)
rd/s)with
withrated load
rated torque
load change
torque of +7
change of
N.m
+7 applied
N.m at tat= t4=s 4and
applied removed
s and at tat= t12
removed = s.
12 s.
ad/sec)

Measured
Mathematics 2022, 10, 1710 17 of 21
Figure 19. Simulation tests at speed reference of 0 p.u (0 rd/s) with rated load torque change of +7
N.m applied at t = 4 s and removed at t = 12 s.

Speeds (rad/sec)
Measured

iqs (Amp.)
dq Fluxes (Wb) Estimated

Time (s)
Figure 20. Experimental
Experimental tests
tests at
at speed
speedreference
referenceofof00p.u
p.u(0(0rd/s)
rd/s)with
withrated load
rated torque
load change
torque of +7
change of
N.m applied at t = 4.5 s and removed at t = 12 s.
+7 N.m applied at t = 4.5 s and removed at t = 12 s.

6.
6. Comparison
Comparison with
with Previous
Previous Works
Works
To
To prove
prove the
the efficacy
efficacy of
of the
the optimal
optimal design
design of
of OFGs,
OFGs, the
the simulation
simulation and experimental
and experimental
results
results of Figures 17 and 18 are presented in comparison to [23], (Figure 12 inin[35]).
of Figures 17 and 18 are presented in comparison to [23], (Figure 12 [35]).It It
is
is evident that the proposed OFGs guaranteed a good performance during slow speed
reversal.
Simulation and experimental results at zero speed are shown in Figures 19 and 20,
respectively. These figures shows the performance of the proposed OFGs in comparison to
the designed AFO as in (Figure 9 in [21]), (Figure 12 in [23]), and (Figure 13 in [35]). As is
obvious, the performance of the proposed OFGs is comparable with [21,23,35]. The stability
was ensured during the operation in the unobservable region.
The proposed OFG-based AFO is an offline analytical method using GA and PSO
optimization approaches. This is considered a limitation of the proposed method. Therefore,
the designed OFG-based AFO by the offline method may not be working properly in online
operations. This is the motivation for proposing a curve-fitting equation between the
observer feedback gains and the deviations of stator resistance to guarantee the dominant
zero location in the stable region.
In future work, GA and PSO optimization approaches will be designed and pro-
grammed as online optimization techniques of OFG-based AFO.

7. Conclusions
GA and PSO optimization approaches were used in this paper to design the OFGs
of AFO. They were used to obtain the optimal OFGs to move the unstable dominant
zero location under zero OFGs to the stable region during parameters’ mismatch in the
regenerating mode of IM. The dominant zeros obtained by PSO had a superior location
than that obtained by GA for both stator resistance and mutual inductance deviations. It
was observed that the observer gain (K2 ) had an almost constant value over a wide range
Mathematics 2022, 10, 1710 18 of 21

of parameter deviations. However, the value of the observer gain K1 was dependent on
the deviation of machine parameters. The advantage of using PSO over GA was that the
relation between the gain and parameter deviation can be represented by a deterministic
and mostly linear relationship. The stability and accuracy of the SIM drive at very low
speeds in the regenerating mode were proven using simulation and practical tests and
compared with previous works. However, the proposed OFG-based AFO using GA or
PSO techniques are offline analytical methods. Consequently, they may not be operating
properly in an online real-time experimental system. This is considered a restriction of the
proposed OFG-based AFO. A lock-up table will be considered in future work to determine
the relation between the OFG-based AFO and the parameters’ deviation.

Author Contributions: Conceptualization, M.S.Z., T.F. and H.Z.A.; methodology, M.S.Z., T.F., S.M.S.
and Y.I.M.; software, S.M.S. and Y.I.M.; validation, M.S.Z., T.F. and H.Z.A.; formal analysis, M.S.Z.
and T.F.; investigation, M.S.Z., T.F. and H.Z.A.; resources, Y.I.M. and S.M.S.; data curation, S.M.S.
and Y.I.M.; writing—original draft preparation, M.S.Z., T.F. and S.M.S.; writing—review and editing,
M.S.Z., Y.I.M. and S.M.S.; visualization, M.S.Z.; supervision, M.S.Z., Y.I.M. and S.M.S.; project
administration, S.M.S. and Y.I.M.; funding acquisition, S.M.S. and Y.I.M. All authors have read and
agreed to the published version of the manuscript.
Funding: The authors extend their appreciation to the Deputyship for Research& Innovation, Min-
istry of Education in Saudi Arabia for funding this research work through the project number
“IF_2020_NBU_424”.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: Data are available upon request.
Conflicts of Interest: The authors declare no conflict of interest.

Appendix A

Table A1. The rated values and parameters of the IM.

Rated output power 5.5 kW Stator self-inductance 57.3 mH

Rated voltage 186 V Rotor self-inductance 57.3 mH
Rated frequency 50 Hz Mutual inductance 56.43 mH
No. of pole pairs 2 Stator resistance 0.294 Ω
Rotor resistance 0.14325 Ω

References
1. Pacas, M. Sensorless drives in industrial applications. IEEE Ind. Electron. Mag. 2011, 5, 16–23. [CrossRef]
2. Holtz, J. Sensorless control of induction machines—With or without signal injection? IEEE Trans. Ind. Electron. 2006, 53, 7–30.
[CrossRef]
3. Kubota, H.; Matsuse, K.; Nakano, T. DSP-based speed adaptive flux observer of induction motor. IEEE Trans. Ind. Appl. 1993, 29,
344–348. [CrossRef]
4. Kubota, H.; Matsuse, K. Speed sensorless field-oriented control of induction motor with rotor resistance adaptation. IEEE Trans.
Ind. Appl. 1994, 30, 1219–1224. [CrossRef]
5. Sun, W.; Yu, Y.; Wang, G. Design method of adaptive full order observer with or without estimated flux error in speed estimation
algorithm. IEEE Trans. Power Electron. 2016, 31, 2609–2626. [CrossRef]
6. Xu, W.; Dian, R.; Liu, Y.; Hu, D.; Zhu, J. Robust flux estimation method for linear induction motors based on improved extended
state observers. IEEE Trans. Power Electron. 2019, 34, 4628–4640. [CrossRef]
7. Devanshu, A.; Singh, M.; Kumar, N. An improved nonlinear flux observer based sensorless FOC IM drive with adaptive predictive
current control. IEEE Trans. Power Electron. 2020, 35, 652–666. [CrossRef]
8. Alonge, F.; Cirrincione, M.; Pucci, M.; Sferlazza, A. A nonlinear observer for rotor flux estimation of induction motor considering
the estimated magnetization characteristic. IEEE Trans. Ind. Appl. 2017, 53, 5952–5965. [CrossRef]
9. Zaky, M.S.; Metwaly, M.K.; Azazi, H.Z.; Deraz, S.A. A new adaptive smo for speed estimation of sensorless induction motor
drives at zero and very low frequencies. IEEE Trans. Ind. Electron. 2018, 65, 6901–6911. [CrossRef]
Mathematics 2022, 10, 1710 19 of 21

10. Lascu, C.; Andreescu, G.-D. Sliding-mode observer and improved integrator with DC-offset compensation for flux estimation in
sensorless-controlled induction motors. IEEE Trans. Ind. Electron. 2006, 53, 785–794. [CrossRef]
11. Suwankawin, S.; Sangwongwanich, S. A speed-sensorless IM drive with decoupling control and stability analysis of speed
estimation. IEEE Trans. Ind. Electron. 2002, 49, 444–455. [CrossRef]
12. Suwankawin, S.; Sangwonwanich, S. Design Strategy of an Adaptive Full-Order Observer for Speed Sensorless Induction Motor
Drives-Tracking Performance and Stabilization. IEEE Trans. Ind. Electron. 2006, 53, 96–119. [CrossRef]
13. HMaksoud, A.; Shaaban, S.M.; Zaky, M.S.; Azazi, Z.H. Performance and Stability Improvement of AFO for Sensorless IM Drives
in Low Speeds Regenerating Mode. IEEE Trans. Power Electron. 2019, 34, 7812–7825. [CrossRef]
14. Saejia, M.; Sangwongwanich, S. Averaging analysis approach for stability analysis of speed-sensorless induction motor drives
with stator resistance estimation. IEEE Trans. Ind. Electron. 2006, 53, 162–177. [CrossRef]
15. Zaky, M. Stability Analysis of Speed and Stator Resistance Estimators for Sensorless Induction Motor Drives. IEEE Trans. Ind.
Electron. 2012, 59, 858–870. [CrossRef]
16. Zaky, M.; Metwaly, M.K. Sensorless Torque/Speed Control of Induction Motor Drives at Zero and Low Frequency with Stator
and Rotor Resistance Estimation. IEEE J. Emerg. Sel. Top. Power Electron. 2016, 4, 1416–1429. [CrossRef]
17. Chang, C.-M.; Liu, C.-H. A new MRAS based strategy for simultaneous estimation and control of a sensorless induction motor
drive. J. Chin. Inst. Eng. 2010, 33, 451–462. [CrossRef]
18. Harnefors, L.; Hinkkanen, M. Complete stability of reduced-order and full-order observers for sensorless IM drives. IEEE Trans.
Ind. Electron. 2002, 55, 1319–1329. [CrossRef]
19. Kubota, H.; Sato, I.; Tamura, Y.; Matsuse, K.; Ohta, H.; Hori, Y. Regenerating-mode low-speed operation of sensorless induction
motor drive with adaptive observer. IEEE Trans. Ind. Appl. 2002, 38, 1081–1086. [CrossRef]
20. Tsuji, M.; Chen, S.; Izumi, K.; Yamada, E. A sensorless vector control system for induction motors using q-axis flux with stator
resistance identification. IEEE Trans. Ind. Electron. 2001, 48, 185–194. [CrossRef]
21. Hinkkanen, M. Analysis and design of full-order flux observers for sensorless induction motors. IEEE Trans. Ind. Electron. 2004,
51, 1033–1040. [CrossRef]
22. Etien, E.; Chaigne, C.; Bensiali, N. On the stability of full adaptive observer for induction motor in regenerating mode. IEEE Trans.
Ind. Electron. 2010, 57, 1599–1608. [CrossRef]
23. Hinkkanen, M.; Luomi, J. Stabilization of regenerating-mode operation in sensorless induction motor drives by full-order flux
observer design. IEEE Trans. Ind. Electron. 2004, 51, 1318–1328. [CrossRef]
24. Chen, B.; Wang, T.; Yao, W.; Lee, K.; Lu, Z. Speed Convergence Rate-Based Feedback Gains Design of Adaptive Full-Order
Observer in Sensorless Induction Motor Drives. IET Electr. Power Appl. 2014, 8, 12–22. [CrossRef]
25. Orlowska-Kowalska, T.; Korzonek, M.; Tarchała, G. Stability Analysis of Selected Speed Estimators for Induction Motor Drive in
Regenerating Mode—A Comparative Study. IEEE Trans. Ind. Electron. 2017, 64, 7721–7730. [CrossRef]
26. Yin, Z.; Zhang, Y.; Du, C.; Liu, J.; Sun, X.; Zhong, Y. Research on Anti-Error Performance of Speed and Flux Estimation for
Induction Motors Based on Robust Adaptive State Observer. IEEE Trans. Ind. Electron. 2016, 63, 3499–3510. [CrossRef]
27. Sun, W.; Liu, X.; Gao, J.; Yu, Y.; Wang, G.; Xu, D. Zero Stator Current Frequency Operation of Speed-Sensorless Induction Motor
Drives Using Stator Input Voltage Error for Speed Estimation. IEEE Trans. Ind. Electron. 2016, 63, 1490–1498. [CrossRef]
28. Orlowska-Kowalska, T.; Korzonek, M.; Tarchala, G. Stability Improvement Methods of the Adaptive Full-Order Observer for
Sensorless Induction Motor Drive—Comparative Study. IEEE Trans. Ind. Inform. 2019, 15, 6114–6126. [CrossRef]
29. Sun, W.; Xu, D.; Jiang, D. Observability Analysis for Speed Sensorless Induction Motor Drives with and Without Virtual Voltage
Injection. IEEE Trans. Power Electron. 2019, 34, 9236–9246. [CrossRef]
30. Sun, W.; Wang, Z.; Xu, D.G.; Yu, X.; Jiang, D. Stable Operation Method for Speed Sensorless Induction Motor Drives at Zero
Synchronous Speed with Estimated Speed Error Compensation. IEEE Trans. Power Electron. 2019, 34, 11454–11466. [CrossRef]
31. Chen, J.; Huang, J.; Sun, Y. Resistances and Speed Estimation in Sensorless Induction Motor Drives Using a Model with Known
Regressors. IEEE Trans. Ind. Electron. 2019, 66, 2659–2667. [CrossRef]
32. Chen, B.; Yao, W.; Chen, F.; Lu, Z. Parameter sensitivity in sensorless induction motor drives with the adaptive full-order observer.
IEEE Trans. Ind. Electron. 2015, 62, 4307–4318. [CrossRef]
33. Hinkkanen, M.; Luomi, J. Parameter Sensitivity of Full-Order Flux Observers for Induction Motors. IEEE Trans. Ind. Appl. 2003,
39, 1127–1135. [CrossRef]
34. Hinkkanen, M.; Harnefors, L.; Luomi, J. Reduced-order flux observers with stator-resistance adaptation for speed-sensorless
induction motor drives. IEEE Trans. Power Electron. 2010, 25, 1173–1183. [CrossRef]
35. Luo, C.; Wang, B.; Yu, Y.; Chen, C.; Huo, Z.; Xu, D. Operating-point tracking method for sensorless induction motor stability
enhancement in low-speed regenerating mode. IEEE Trans. Ind. Electron. 2020, 67, 3386–3397. [CrossRef]
36. Sun, W.; Wang, Z.; Xu, D.; Wang, B. Robust stability improvement for speed sensorless induction motor drive at low speed range
by virtual voltage injection. IEEE Trans. Ind. Electron. 2020, 67, 2642–2654. [CrossRef]
37. Morawiec, M.; Kroplewski, P.; Odeh, C. Nonadaptive rotor speed estimation of induction machine in an adaptive full-order
observer. IEEE Trans. Ind. Electron. 2022, 69, 2333–2344. [CrossRef]
Mathematics 2022, 10, 1710 20 of 21

38. Zaky, M.S.; Fetouh, T.; Shaban, S.M.; Azazi, H.Z. A Novel Analytical Approach using Rough Set and Genetic Algorithm of a
Stable Sensorless Induction Motor Drives in the Regenerating Mode. IEEE Access 2020, 8, 157748–157761. [CrossRef]
39. El-Ela, A.A.A.; Fetouh, T.; Bishr, M.A.; Saleh, R.A.F. Power System Operation using Particle Swarm Optimization Technique.
Electr. Power Syst. Res. 2008, 78, 1906–1913. [CrossRef]